| 19-02337 | 02/18/2020 | Claimant(s): Joy Hurst
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
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| 18-04362 | 02/11/2020 | Claimant(s): Cynthia Couyoumjian
Claimant Lawyers(s): Harris Freedman
Respondent(s): LPL Financial LLC, First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden, Jon D. Kaplon
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | |
| 19-01458 | 01/30/2020 | Claimant(s): David Choi
Claimant Lawyers(s): Harris Freeman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D, Kaplon
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | |
| 19-01066 | 01/22/2020 | Claimant(s): Jason Diaz
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
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| 19-00619 | 01/21/2020 | Claimant(s): Ronald Carson
Claimant Lawyers(s): Matt Wolper
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Philip J. Glick
Hearing Site: Omaha, NE
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| 19-01261 | 01/02/2020 | Claimant(s): Mark Elston
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Reno, NV
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| 19-00722 | 12/20/2019 | Claimant(s): James Sandager
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): William M. Azkoul
Hearing Site: Des Moines, IA
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| 16-00150 | 12/19/2019 | Claimant(s): Joseph Long, Joseph Duane Long IRA, PTC Cust IRA FBO Joseph Duane Long, PTC Cust IRA FBO Peggy Long, Joseph Duane Long and Peggy Long JJTEN
Claimant Lawyers(s): David M. Gaba
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Barbara Black, James Howell Garrison, William Finley Hamel
Hearing Site: Charlotte, NC
|  | $550,398 |
| 18-02445 | 12/19/2019 | Claimant(s): Robert Yanik, August & Helen Revocable Living Trust
Claimant Lawyers(s): Jason T. Albin
Respondent(s): LPL Financial LLC, Bradley Fischer
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Mauricio Kohn, Patrick R. Sughroue, Tracy L. Allen
Hearing Site: Detroit, MI
| | $0 |
| 19-00321 | 12/09/2019 | Claimant(s): Scott Kanai
Claimant Lawyers(s): Matthew Wolper
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
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